USPS Process Guide – Appendix L – On-Line Audit

Introduction

The audit trail screens can be used by agency personnel with security access
to the HRH database and provide data identifying certain changes that were made,
who made the changes, the date the changes were made and what time they occurred.
As changes are made on-line, the audit database feature will capture those changes.
The changes will be available for viewing on the audit-trail screens following
the next nightly cycle. For example, if changes are made on Saturday they would
be available for on-line viewing on the following Tuesday.

Screens associated with this process

Agency/Employee Audit History (HRHL1)

HØA Transaction Audit Record (HRHØA)

HØB Transaction Audit Record (HRHØB)

HØZ Transaction Audit Record (HRHØZ)

HNY Transaction Audit Record (HRHNY)

HM9 Deleted Transaction Audit Record (HRHM9)

HMT Transaction Audit Record (HRHMT)

HN1 Transaction Audit Record (HRHN1)

Employee Audit History (HRHL2)

HID Transaction Audit Record (HRHID)

HOØ Transaction Audit Record (HRHOØ)

HNC Transaction Audit Record (HRHNC)

Note: The HMPFX, HØBFX & HNHBK Audit History screen (HNXAT)
provides a history of personnel actions and entries with incorrect information
that were either corrected via entry through HMPFX, HØBFX, and HNHBK or corrected
through the Letter of Authorization (LOA) process. The Leave Balance Detail by
Leave Type (HN9U3) can also be helpful when reconciling employee leave entry.

How to Use the Audit History list from HRHL1

The Agency/Employee Audit History screen (HRHL1) displays a chronological
listing of tracked payroll related changes (from HØA, HØB, HØZ, HNY, HMT and HN1) and deleted leave accounting entries (from HM9) and can be used to view
a historic listing of all changes by agency, employee Social Security number
(SSN) and effective date.

To view a limited number of changes for a specific employee, the screen allows
for a wild card search by effective date. To view a certain number of records
prior to a specific date, enter the agency number, employee’s SSN, a greater
than sign (>) and the date parameter desired on the command line. Based on
the date entered, records on or before this date will display. For example, the
following entry would provide all changes made on or before July 1,
2006.

GD XXX,XXXXXXXXX,>07/01/2006 on HRHL1

Only changes to audited fields made after the migration of the ACR will create
a row on the HRHL1. The screen will display by:

EFF DATE — The effective date of the
change sorted by most current.

EFF TIME — The effective time sorted by most current.

DBID — Identifies the three character description of the database where the audited
field was inserted, updated or deleted.

KEY — Contains the key fields for the
database from which the change was captured.

To link from the HRHL1 to see the detail of a specific audit record, place
an ‘X’ in the subcommand field. Once linked, the new and old values
related to the change will display.

Examples of Transaction Audit Records

The HØA transaction illustrated below reflects
an audit transaction following an insert of a new hire on HMPNH. Note: The number
following the effective date on the command line (in this example 0874965749983)
automatically populates when the audit screen is called up and is used by the
system to display records in descending order.

The HØZ transaction illustrated below reflects an audit transaction following
an insert of a new hire on HMPNH which would set up the retirement deduction
for the employee. In addition to the employee deduction (05), there would also
be an HØZ transaction for deduction 24 (the retirement fee) and for deduction
25 (state retirement match).

The HØA transaction illustrated below reflects an audit transaction following
a Social Security number (SSN) change processed by a Letter of Authorization
(LOA) that deleted the records associated with the incorrect SSN. As part of
the LOA to delete history associated with an incorrect SSN, a job is run to update
the record and move all the data to the correct SSN. In this case, the ID reflects
the job number that deleted the record in USPS associated with the incorrect
SSN (ie. TPAY6ØØ1). Because the record was deleted, there is no NEW information
to display.

The HØA transaction illustrated below reflects an audit transaction following
the entry of year-to-date tax and taxable wages on HØAUT. Although Benefit Replacement
Pay (BRP) was also entered on HØAUT, it is not included on HRHØA but would be
included on the HRHØB.

The HØB transaction illustrated below reflects an audit transaction following
the entry of year-to-date Benefit Replacement Pay (BRP) on HØAUT. Although year-to-date
tax and taxable wages were also entered on HØAUT, those fields are not included
on HRHØB. They are only included on HRHØA.

The HMT illustrated below reflects an audit record for an insert of a new record sent by the Employees Retirement System (ERS). This
type of transaction updates USPS during nightly processing and creates a record on the Group Insurance/Texflex Participant Information
(HMTU1) screen. Because this process is updated by a common routine an ID of PUSP0100 is indicated below.

The HMT illustrated below reflects an audit record created as a result of the agency benefits coordinator updating or changing an existing
record. The Flexible Spending Accounts for Day Care and Health Care were updated on the Group Insurance/Texflex Participant Information
(HMTU1) screen to ensure the employee’s payroll deduction was taken.

The HN1 illustrated below reflects an audit record for an insert for an employee that has elected to participate in a 457 deferred compensation
plan. This entry was made by the agency on the 403B/457 Contribution Screen (HN1UA).

The HN1 illustrated below reflects an audit record following an insert by the agency of a new loan on the Loan Repay (457) Contribution (HN1LO)
screen. The amount of the loan payment will appear under the FA/LOAN AMT column.

How to Use the Audit History List for Employee/Individual Changes

The Employee Audit History screen (HRHL2) displays a chronological listing of tracked individual-related changes (from HID, HO0 and HNC) and can
be used to view a historic listing of all changes by an individual’s Social Security number (SSN) and effective date. In general, security access
to view individual level changes made during any period of employment belongs to the agency that actively employs the individual. In the
circumstance where the employee is not active, the prior agency could view all individual changes.

To view a limited number of changes for an individual, the screen allows for a wild card search by effective date. To view a certain number of
records prior to a specific date, enter the individual’s SSN, a greater than sign (>) and the date parameter desired in the command line. Based
on the date entered, records on or before this date will display. For example, the following entry would provide all changes made on or
before July 1, 2007.

> GU 00XXXXXXXXX,>07/01/2007 ON HRHL2

Only changes to audited fields made after the migration of the ACR will create a row on the HRHL2. The screen will display by:

EFF DATE — The effective date of the change sorted by most current.

EFF TIME — The effective time sorted by most current.

DBID — Identifies the three character description of the database where the audited field was inserted, updated or deleted.

KEY — Contains the key fields for the database from which the change was captured.

TYPE — Indicates whether the change was an (I)nsert, (U)pdate/change, or (D)elete.

ID — Displays the User ID or the job that updated the data.

To link from the HRHL2 to see the detail of a specific audit record, place an ‘X’ in the SUBCOMMAND field on any line to be linked to the detail screen.

Examples of Transaction Audit Records from HRHL2

The HID illustrated below reflects an audit record following an insert on the Individual Identification (HIDU1) screen.

The HID illustrated below reflects an audit record following the delete of an existing Individual Identification (HIDU1) screen. This would most
likely occur as part of the Letter of Authorization (LOA) process to correct an employee’s Social Security number.